UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
Current Report Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): January 9, 2007
WINTRUST FINANCIAL CORPORATION
(Exact name of registrant as specified in its charter)
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Illinois
(State or other jurisdiction of
Incorporation)
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0-21923
(Commission File Number)
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36-3873352
(I.R.S. Employer Identification No.) |
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727 North Bank Lane
Lake Forest, Illinois
(Address of principal
executive offices)
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60045
(Zip Code) |
Registrant’s telephone number, including area code (847) 615-4096
Not Applicable
(Former name or former address, if changed since last year)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy
the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c)) |
Item 1.01. Entry Into a Material Definitive Agreement.
On January 9, 2007, the stockholders of Wintrust Financial Corporation (the “Company”)
approved the 2007 Stock Incentive Plan (the “Plan”) at a Special Meeting of Stockholders. The
Board of Directors of the Company (the “Board”) had adopted the Plan on November 9, 2006, subject
to stockholder approval. The Plan replaces the Wintrust Financial Corporation 1997 Stock Incentive
Plan, and no further awards will be granted under that plan.
The Plan provides for awards of stock options, incentive stock options, stock appreciation
rights, restricted and performance shares, restricted and performance share units, stock awards and
other incentive awards. No more than 500,000 shares of common stock may be issued under or made
subject to awards under the Plan. No more than 200,000 of such shares may be subject to awards
other than stock options or stock appreciation rights. No more than 100,000 shares of common stock
may be made subject to awards granted under the Plan in any year to any single participant. Each
of these limits is subject to adjustment in the case of stock splits or other changes to the
Company’s corporate or capital structure.
The foregoing description of the Plan is qualified in its entirety by reference to the Plan,
which is included as Exhibit 10.1 to this Form 8-K, and is hereby incorporated by reference into
this Item 1.01.
Item 9.01. Financial Statements and Exhibits.
(c) Exhibits.
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Exhibit No.
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Description |
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10.1
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Wintrust Financial Corporation 2007 Stock Incentive Plan. |